SFC Issues 3-Year Ban of Former Licensee Over Trading Conduct Hong Kong’s Securities and Futures Commission (SFC) has banned a former licensed representative of... READ MORE
ASIFMA Capital Markets Update: APAC's Challenges and Optimism The Asia-Pacific (APAC) region continues to draw the attention of global financial firms. The... READ MORE
Conviction of Former Judge Over Insider Trading in Japan The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4... READ MORE
Procurement to Prosecution: S$2.4m Bribery Scheme Exposed Singapore’s CPIB exposes a major corruption scheme funnelling millions through procurement fraud,... READ MORE
Unpacking the SFC’s New Market Sounding Guidelines The Hong Kong Securities and Futures Commission (SFC) has released new guidelines for market... READ MORE
Steering Clear of Insider Trading: Chauffeur's Wife Fined $107K A recent case in Hong Kong has sent a clear signal to financial firms about the dangers of failing... READ MORE
Unpacking APRA and ASIC’s Observations of FAR Implementations The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments... READ MORE
Staying Ahead of Regulatory Change in eComms Surveillance Regulators around the globe are taking a firm stance against off-channel communications. In the US,... READ MORE
Addressing Compliance Within Financial Firms’ CPD Requirements The financial services industry brings substantial responsibilities for those working within it,... READ MORE
